Registration of Government Securities Brokers & Dealers
(Rules 15Ca1-1 to 15Cc1-1)
Rule 15Ca1-1 — Notice of government securities broker-dealer activities.
Rule 15Ca2-1 — Application for registration as a government securities broker or government securities dealer.
Rule 15Ca2-3 — Registration of successor to registered government securities broker or government securities dealer.
Rule 15Ca2-4 — Registration of fiduciaries.
Rule 15Ca2-5 — Consent to service of process to be furnished by non-resident government securities brokers or government securities dealers and by non-resident general partners or managing agents of government securities brokers or government securities dealers.
Rule 15Cc1-1 — Withdrawal from registration of government securities brokers or government securities dealers.